DISCIPLINARY HEARING – CHAIRMAN’S CHECKLIST 1. WHICH DISCIPLINARY PROCESS?

If maximum penalty in Disciplinary Code is: The disciplinary process is: a) Dismissal / FWW a) Disciplinary hearing b) No Dismissal / FWW b) Formal investigation

2. CHECKLIST : YOUR PREPARATION FOR DISCIPLINARY HEARING

(This Section 2 is an internal document and shall not be disclosed)

Did your disciplinary investigation produce enough facts which justify, on the face of it, a Disciplinary Hearing?

If yes: Then proceed with your preparation for the Disciplinary Hearing If no: Do not proceed with Disciplinary Hearing

2.1 Did you issue a full Disciplinary Notice to the employee? ........................

2.2 Did you allow the employee reasonable time to prepare for the

Disciplinary Hearing? ……………….. 2.3 Did you arrange for witnesses to be present at the Disciplinary

Hearing? ........................ 2.4 Have you decided who will be the members of your Disciplinary

Committee? ........................ 2.5 Have you decided who will be the spokesman on your side during the

Disciplinary Hearing? ….................... 2.6 Have you decided how the Minutes will be taken? ........................ 2.7 Does a written Contract of Employment exist? ........................ 2.8 Has the employee been made aware of your Disciplinary Code? ........................

How : ........................................................................................................................................

.................................................................................................................................................... 3. CHECKLIST : DISCIPLINARY HEARING PROPER

3.1 Read out to the employee:

3.1.1 His full name ........................ 3.1.2 His period of service ........................ 3.1.3 His job "you are employed as a ...................” ….....................

3.2 Read his rights to him:

3.2.1 An interpreter if necessary ........................

3.2.2 To state his side of the case ........................

3.2.3 To be represented by a co-employee ........................

3.2.4 To bring in witnesses ........................

3.2.5 To put questions to employer’s witnesses ........................

3.2.6 To a finding from the Disciplinary Committee ........................

3.2.7 To hear the maximum penalty ........................

3.2.8 To put forward mitigating circumstances ........................

3.2.9 Decision on the penalty ........................

3.2.10 In case of dismissal – appeal ........................

3.3 Read the charge(s) against the employee:

3.3.1 Ask him whether he understands the charge(s) ........................ 3.3.2 Ask him if he has any complaints against the Disciplinary

Hearing ........................ 3.3.3 What complaints .........................................................................................................

.....................................................................................................................................

3.3.4 How did you solve it? ..................................................................................................

.....................................................................................................................................

3.4 Bring in your witnesses, one at a time to give evidence. Address your witnesses as follows in the presence of everybody concerned with the Disciplinary Hearing: "You are here today as a witness. Please give only the facts of what happened to the best of your ability. Do not state opinions. If you have any objections, then raise it with the Chairman.”

3.4.1 Allow employee to put questions to all your witnesses one

at a time ………………….

3.5 Now ask the employee for any comments on the procedure of the Disciplinary Hearing up to this point.

3.5.1 His comments?.........................................................................................................

.................................................................................................................................

3.5.2 How did he respond? ............................................................................................... .................................................................................................................................

3.6 Now allow the employee to bring in his witnesses, one at a time, to give evidence.

Address their witnesses as follows in the presence of everybody concerned with the Disciplinary Hearing. "You are here today as a witness. Please give only facts of what happened to the best of your ability. Do not state your opinion. If you have any objections then raise them with the Chairman.”

3.6.1 Remember examination in chief (no leading questions

allowed) …………………. AND then

cross-examination (allow leading questions) ………………….

3.6.2 Allow the employee (his representative) to summarise his case and/or witness presented and to make any closing remarks/ wishes ………………….

3.7 Adjourn the Disciplinary Hearing to enable you to:

3.7.1 Analyse the facts:

Concentrate on:

Oral evidence ………………….

Real evidence ………………….

Documentary evidence ………………….

Admissions / confessions ………………….

Circumstantial evidence ………………….

Corroboration …………………..

Ignore:

Previous verdicts ………………….

Character ………………….

Opinion ………………….

Hearsay ………………….

Privileges ………………….

3.7.2 Determine whether the employee is guilty or not (make a finding). Concentrate only on facts which are relevant (see 3.7.1) and check for the possibility of being biased. This is the most difficult part of a Disciplinary Hearing. The following “mind framing” may help you:

"All the relevant facts indicate to me that, on the facts of it, management's version of what happened is the most probable”

OR

"All the relevant facts indicate to me that, on the face of it, the employee's version of what happened is the most probable”

3.7.3 Make a summary of all the facts. Your reasoning must be

highlighted …………………. 3.7.4 Do not discuss the matter with anyone else. ………………….

3.8 Resume the Disciplinary Hearing:

3.8.1 Read the summary (3.7.3) …………………. 3.8.2 Read your finding (guilty or not guilty).(If not guilty stop

the Disciplinary Hearing and destroy all documents). …………………. 3.8.3 Inform the employee of maximum penalty …………………. 3.8.4 Put forward mitigating / aggravating circumstances ………………….

Mitigating:

Long service record

Clean service record

Isolated incident

Has the rule been enforced in the past

Did the employee know of the disciplinary rule

Circumstances relating to the commission of the infraction

The contribution of management to the commission of the infraction

The personal circumstances of the employee

Aggravating:

Poor service record

Position of trust

3.8.5 Request the employee to put forward mitigating circumstances or other representation with regard to what would constitute an appropriate disciplinary sanction

3.9 Adjourn the Disciplinary Hearing to decide on a penalty:

3.9.1 Decide on the aim of the sanction rehabilitation, 3.9.2 Make a fair judgment by giving equal consideration to:

The infraction: ………………….

What is the transgression

Is it serious / minor within the industry

Is the rule legitimate

Is the rule reasonable

Is the application of the rule in this instance reasonable

The offending employee: ………………….

Mitigating circumstances

Aggravating circumstances The company and other employee’s: ………………….

The rationale of the rule

The economic consequences of the infraction

The consequences on your clients

The consequences on the image of your company

The consequences on internal personnel relationship

Do not discuss the matter with anybody else.

3.10 Resume the Disciplinary Hearing:

3.10.1 Read your decision on the penalty (Your reasoning must be highlighted) ………………….

3.10.2 Hand a copy of the minutes to the employee ………………….

3.10.3 Inform the employee (if dismissed / FWW) that he may

appeal against the finding and/or penalty. ...………………..